| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| China Galaxy International Futures (Hong Kong) Co., Limited | Rep | 期貨合約交易 | 2012-01-10 | - |
| China Galaxy International Securities (Hong Kong) Co., Limited | Rep | 證券交易 | 2012-01-10 | - |
| Morgan Stanley Asia Limited | Rep | 證券交易 | 2011-05-23 | 2011-12-28 |
| Morgan Stanley Hong Kong Securities Limited | Rep | 期貨合約交易 | 2011-05-23 | 2011-12-28 |
| HSBC BROKING FOREX (ASIA) LIMITED | Rep | 槓桿式外匯交易 | 2004-04-28 | 2005-12-20 |
| HSBC BROKING FUTURES (ASIA) LIMITED | Rep | 期貨合約交易 | 2004-02-27 | 2005-12-20 |
| HSBC BROKING SECURITIES (ASIA) LIMITED | Rep | 證券交易 | 2004-02-27 | 2005-12-20 |